REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF THE REGIONS Implementation of the strategy for international cooperation in research and innovation
Date: 2016-10-13
Institutions: Directorate-General for Research and Innovation, European Commission
Subjects: EU research policy, Framework Programme for Research and Development, innovation, international cooperation, research and development, scientific cooperation, third country

EN 

   EN 

   EUROPEAN COMMISSION  Brussels, 13.10.2016  COM(2016) 657 final   REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF THE REGIONS Implementation of the strategy for international cooperation in research and innovation {SWD(2016) 329 final}  
 
 
1. CONTEXT 

The strategy for European Union international cooperation in research and innovation (R&I) 
published  in  20121  supports  the  objectives  of  strengthening  the  EU’s  R&I  excellence, 
attractiveness  and  economic  and  industrial  competitiveness,  tackling  global  societal 
challenges, and supporting the EU’s external policies. It is a building block of the 'Open to the 
World' priority of the EU's R&I policy. 

These  objectives  apply  in  different  ways  depending  on  the  international  partner  country  or 
region. For EEA, EFTA and EU enlargement countries, the focus is on fostering integration 
into the European Research Area (ERA). For European Neighbourhood Policy countries, the 
objective is to support a Common Knowledge and Innovation Space, bringing together R&I 
cooperation,  mobility  for  academics,  and  capacity  building.  For  industrialised  countries  and 
emerging  economies,  the  objectives  include  increasing  competitiveness,  joint  tackling  of 
global  challenges  and  increasing  participation  in  international  value  chains.  For  developing 
countries, the emphasis is on promoting their sustainable development and addressing global 
societal challenges. In all cases, the areas for cooperation are identified on the basis of R&I 
capacities,  market  access  opportunities,  the  contribution  to  international  commitments,  and 
the R&I framework conditions in place.  

The  strategy  is  structured  around  six  main  areas  of  action:  (i)  opening  up  the  EU's  flagship 
R&I  programme,  Horizon  2020,  to  researchers  and  innovators  from  across  the  world  and 
supporting targeted activities on the basis of priority areas for cooperation with international 
partner  countries  and  regions;  (ii)  improving  the  framework  conditions  that  underpin 
international  cooperation;  (iii)  playing  a  leading  role  in  multilateral  fora  and  working  with 
international  organisations;  (iv)  reinforcing  the  partnership  with  Member  States;  (v) 
intensifying synergies with the EU's external policies; and (vi) widening communication and 
strengthening monitoring. 

This  document  is  the  second  biennial  report  on  the  implementation  of  the  strategy  and  its 
structure  follows  that  of  the  strategy  itself.  The  conclusions  from  the  first  report2  were  as 
follows:  international  cooperation  must  be  better  integrated  in  the  Horizon  2020  strategic 
programming  and  work  programme  (WP)  development;  work  on  removing  obstacles  to 
cooperation  must  continue;  global  approaches  are  needed  to  tackle  global  challenges  more 
effectively; sustained focus is needed on improving synergies with Member States and with 
EU  external  policies;  the  communication  strategy  should  be  refined;  and  quantitative 
indicators  should  underpin  the  monitoring  of  the  effectiveness  of  the  strategy.  This  report 
highlights the action taken in response to these conclusions in terms of concrete deliverables, 
such as the new co-funding mechanism launched by the EU and China to support research and 
innovation projects in strategic areas of common interest. 

2. PRIORITIES FOR COOPERATION 

Over  the  past  two  years,  a  new  impetus  has  been  given  to  global  R&I  cooperation  in  the 
strategic planning of governments and companies. One of the European Commission's (EC) 
top priorities is to make the EU 'A Stronger Global Actor', and being 'Open to the World' is at 
the centre of the EU's policy on science, research and innovation. The EC aims to translate the 
Union's  strengths  in  science  and  technology  into  a  leading  voice  in  global  debates  and  to 

1 COM(2012)497 
2 COM(2014)567 

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engage more in science diplomacy so as to help enhance the EU's global outreach. This means 
using  the  universal  language  of  science  to  maintain  open  channels  of  communication  and 
ensuring that the EU keeps pace with globalisation by enhancing international cooperation in 
R&I so as to be able to solve global challenges. 

Challenges  in  areas  such  as  health,  food,  energy,  water,  climate  change  and  the  circular 
economy are global, and the EC is leading the way in a range of multilateral R&I partnerships 
to  address these issues  in  the most  effective way. The EC strongly  encourages  international 
cooperation  as  this  fosters  new  knowledge  production,  increases  scientific  quality,  and 
improves the competitiveness of R&I systems3. At the same time, internationalisation boosts 
the productivity of investments in R&D by enabling companies to gain more knowledge from 
international  markets,  to  participate  in  new  value  chains  and  to  reap  greater  benefits  from 
growing markets outside the EU. 

The  experience  gained  in  implementing  policies  to  build  the  ERA  is  being  used  to  shape 
dialogues  and  interactions  in  an  international  context,  and  for  the  EC  to  form  a  vision  of  a 
'Global Research Area' where researchers and innovators are able to work together smoothly 
across borders, and where researchers, scientific knowledge and technology circulate as freely 
as possible. 

The EC has continued to hold regular Science and Technology (S&T) cooperation dialogues 
with  its  main  international  partners  and  high  level  policy  dialogues  with  the  main  world 
regions.  These  dialogues  make  an  important  contribution  to  the  systematic  identification  of 
opportunities  for  cooperation  which,  when  combined  with  differentiation  by  country/region, 
support  priority-setting.  The  priorities  are  reflected  in  the  updating  of  the  multi-annual 
roadmaps  for  targeted  international  cooperation  with  twelve  countries  and  six  regions,  as 
presented in the accompanying Staff Working Document4. 

3. REINFORCING THE INTERNATIONAL DIMENSION OF HORIZON 2020 

The  updating  of  the  roadmaps  for  international  cooperation  has  been  synchronised  with  the 
Horizon  2020  strategic  programming  cycle.  As  a  result,  Horizon  2020  WPs  strongly 
encourage  international  participation  in  consortia  and  the  number  of  topics  flagged  as 
particularly relevant for international cooperation has increased, from 12 % of topics in FP7 to 
over 27 % in the 2014-17 WPs. 

Most  international  cooperation  is  implemented  through  participation  in  Horizon  2020 
projects, but also through joint calls5 and twinning of projects funded by international partners 
to exchange knowledge and exploit synergies. In addition, many WP topics contribute to the 
implementation of multilateral programmatic initiatives designed to tackle societal challenges 
with the participation of the EC, national and regional funding agencies.  

Despite the increase in the number of topics flagged for international cooperation, the results 
from the first two years of Horizon 2020 show that the share of participations of entities from 
non-associated  international  partner  countries  in  grant  agreements  for  collaborative  actions 
has fallen from 4.9 % under FP7 to just 2.4 % under Horizon 20206. Only 11.7 % of Horizon 

3 European Commission: Science, Research and Innovation Performance of the EU 2016 
4 More detailed roadmaps are provided here: http://ec.europa.eu/research/iscp 
5 Ten joint calls and eleven twinning calls launched to date 
6 Includes all Horizon 2020 actions, except those under ERC, MSCA, Access to risk finance, EIT, JRC, and 
topics using the SME Instrument 

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2020  grant  agreements  include  one  or  more  partners  from  outside  the  EU  Member  States 
(MS) and the Horizon 2020 Associated Countries (AC), compared to 20.5 % under FP7. The 
EU contribution to non-MS/AC entities has fallen from 2.0 % of the budget under FP7 to 0.7 
%  under  Horizon  2020.  Likewise,  the  total  budget  invested  by  entities  from  international, 
non-associated partner countries in cooperating in Horizon 2020 projects has fallen from €60 
million to €29 million a year.  

The  fall  in  international  participation  in  grant  agreements  seen  between  FP7  and  Horizon 
2020  can  be  partly  explained  as  a  combination  of:  the  change  of  funding  rules  for  Brazil, 
Russia, India, China and Mexico; recent conflicts and socio-political developments in the EU 
neighbourhood; and Ukraine becoming associated to Horizon 2020 while it was not in FP7. 
Another  main  difference  with  respect  to  FP7  is  that,  despite  the  increase  in  the  number  of 
topics  flagged  for  international  cooperation,  there  are  only  very  few  for  which  international 
participation  is  mandatory.  Lastly,  the  programme's  increased  focus  on  closer-to-market 
activities  has  required  finding  an  appropriate  balance  between  engaging  in  international 
cooperation and safeguarding the interests of the EU's companies. 

With regard to the level of mobility of individual researchers, 2.6 % of all European Research 
Council  (ERC)  Principal  Investigators  have  come  to  EU  MS/AC  from  non-associated 
international  partner  countries.  A  number  of  early-career  scientists  have  been  supported  by 
non-MS/AC  funding  agencies  to  temporarily  join  research  teams  run  by  ERC  grantees 
through implementing arrangements now in place with seven countries7. Under the Individual 
the  Marie  Skłodowska-Curie  Actions  (MSCA),  non-associated 
Fellowships  part  of 
international  partner  countries  have  received  280  researchers  from  EU  MS/AC,  while  521 
researchers from these countries have obtained fellowships in Europe, corresponding to 20 % 
of all grantees of Individual Fellowships. Moreover, entities from non-associated international 
partner countries participate 459 times in RISE (International and Inter-sectoral Cooperation 
through  R&I  Staff  Exchanges)  and  209  times  in  ITN  (Innovative  Training  Networks), 
corresponding to 29 % of all RISE participations and 5 % of all ITN participations. 

International cooperation remains an important aspect of all Euratom activities and continues 
to be implemented under the various multilateral frameworks (e.g. OECD/NEA, IEA, IAEA, 
GIF) and through the bilateral Euratom cooperation agreements with third countries (TC). A 
new approach to fusion research promotes enhanced integration across EU MS/AC in order to 
ensure the success of ITER. 

4.  IMPROVING  THE  FRAMEWORK  CONDITIONS  FOR  ENGAGING  IN 
INTERNATIONAL COOPERATION 

The EC has continued to be proactive in addressing the obstacles for worldwide cooperation 
in R&I.  

A priority has been to encourage and assist industrialised countries and emerging economies 
in  setting  up  mechanisms  for  funding  the  participation  of  their  researchers  in  Horizon  2020 
actions. There are currently mechanisms in place in several countries, including South Korea, 
Mexico, China, Russia, Japan, Australia, India, regions of Brazil and the province of Quebec, 
Canada, and work is continuing to broaden their scope of application. 

7 USA, South Korea, Argentina, Japan, China, South Africa, Mexico 

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In  some  cases  dialogues  have  addressed  reciprocal  access  to  R&I  funding  programmes, 
mutual access to resources and cooperation in pre-normative research and standardisation. For 
example,  at  the  EU-China  Innovation  Cooperation  Dialogue  held  in  June  2015  the  parties 
agreed  to  ensure  reciprocal  access  to  respective  R&I  funding  programmes  through 
participation rules based on equal treatment, timely and clear information to participants and 
regular exchange of data. 

The  EC  is  also  carrying  out  a  review  of  immigration  regulations  with  a  view  to  making  it 
more effective in attracting talent to the EU. In particular, it is looking at supporting highly 
skilled entrepreneurs interested in setting up businesses in the EU. 

Moreover,  global  multilateral  fora  in  different  thematic  fields  have  addressed  framework 
conditions such as open access to research data and infrastructures in their respective fields. 
For instance, in 2015 the Belmont Forum, currently co-chaired by the EC, adopted principles 
for  data  derived  from  global  environmental  change  research  to  be  discoverable,  accessible, 
understandable, well-managed and properly conserved. Such policy of openness is paving the 
way  for  funding  agencies  collaborating  internationally  to  reinforce  the  excellence  and 
integrity of science and to facilitate innovation. 

The multi-annual roadmaps for cooperation contain more detailed information on framework 
conditions in place for each country/region and the priorities for future improvements. 

INITIATIVES  AND  WORKING  WITH 
5.  LEADING  MULTILATERAL 
INTERNATIONAL  ORGANISATIONS  TO  TACKLE  GLOBAL  SOCIETAL 
CHALLENGES  

The  increasing  scope  and  interconnectivity  of  societal  challenges  require  more  than  ever 
international  collaboration  across  disciplines  and  sectors  and  call  for  more  programmatic 
cooperation around common R&I agendas. 

In  health  R&I,  global  multilateral  initiatives  are  important  instruments  for  cooperating 
internationally.  For  example,  the  Global  Research  Collaboration  for  Infectious  Disease 
Preparedness (GloPID-R) brings together funding organisations worldwide in order to ensure 
an  effective  research  response  to  major  outbreaks  of  infectious  diseases  with  pandemic 
potential. When the first reports of the Zika outbreak appeared in November 2015, GloPID-R 
mobilised  its  members  to  identify  funding  gaps,  facilitate  synergies  and  optimise  the 
investment  in  research  with  a  view  to  meeting  public  health  needs.  In  parallel,  the  EC 
launched  calls  to  set  up  a  research  network  across  the  Latin  America  region  to  facilitate, 
coordinate and implement urgent research against the Zika outbreak, and lay the foundation 
for a preparedness research network against any future emerging severe infectious threats.  

Under  the  first  Horizon  2020  WPs  the  EC  has  invested  nearly  €250  million  in  topics  that 
contribute directly to the objectives of a range of global health partnerships8. It is estimated 
that  the  overall  non-EC  investment  in  these  is  close  to  €850  million  over  the  same  period, 
leading  to  a  significant  global  impact.  The  EU  is  also  providing  up  to  €683  million  for  the 
second European and Developing Countries Clinical Trials Partnership (EDCTP) under which 
14 European and 14 African  countries are supporting  collaborative research that accelerates 
the  clinical  development  of  new  or  improved  interventions  to  prevent  or  treat  HIV/AIDS, 
tuberculosis, malaria and neglected infectious diseases in sub-Saharan Africa.  

8 IRDiRC, IHEC, IHMC, IKMC, ICGC, InTBIR, GACD, GloPID-R, GTBVP  

5 

 
 
                                                            
In R&I for climate action and the environment, the first Horizon 2020 WPs included several 
topics designed to contribute to fulfilling commitments made under the Belmont Forum and 
the Group on Earth Observation (GEO) and to provide input to the Intergovernmental Panel 
on  Climate  Change  (IPCC).  In  many  cases,  these  international  activities  are  supported  by 
Horizon 2020 through ERA-NETs. The total Horizon 2020 budget for these topics is close to 
€200 million, and the total investment by all partners in these initiatives is estimated at three 
to  four  times  this  amount  for  the  same  period.  These  are  important  to  deliver  effective 
solutions  to  the  challenges  of  global  environmental  change  and  to  link  Earth  observation 
resources world-wide across multiple areas, such as disaster resilience and sustainable urban 
development.  

In  the  area  of  bioeconomy,  emphasis  has  been  placed  on  international  cooperation  for 
sustainable food security. This has included initiatives with China, East-Asian countries and 
Africa,  and  blue  growth  that  supports  the  implementation  of  the  Atlantic  Ocean  Research 
Alliance  and  the  BLUEMED  initiative  on  marine  and  maritime  R&I  for  the  Mediterranean. 
An International Bioeconomy Forum is also being organised with the participation of global 
R&I partners. To date, Horizon 2020 WP topics worth more than €180 million have supported 
these initiatives, and first results of this investment can now be seen. For example, new maps 
have been produced of seabed features that are important for defining favourable habitats for 
fishing, critical sites for conservation, and safe navigation for shipping. 

The international Group of Senior Officials on Global Research Infrastructures has developed 
further  opportunities  for  practical  collaboration  and  has  launched  a  number  of  case  studies 
designed  to  identify  best  practices  from  different  research  infrastructure  internationalisation 
processes.  The Group is also seeking to identify common ground for policies to be developed 
at  international  level  related  to  access  to  research  infrastructures,  data  management  and  the 
innovation potential of research infrastructures. 

The results of EU R&I have contributed to the development and implementation of a number 
of international commitments such as the United Nations Framework Convention on Climate 
Change,  the  Convention  on  Biological  Diversity,  the  2030  Agenda  for  Sustainable 
Development, the Sendai Framework for Disaster Risk Reduction, the Habitat III Conference 
on  Sustainable  Urban  Development,  a  number  of  environmental  agreements,  and  various 
resolutions  of  the  World  Health  Organisation.  For  instance,  more  than  one  thousand 
publications  from  FP7  projects  contributed  to  the  fifth  Assessment  Report  of  the  IPCC  that 
provided the evidence base for negotiations at the United Nations Climate Change Conference 
held  in  Paris  in  2015.  Similarly,  systems  and  services  such  as  the  Knowledge  Centre  for 
the  Copernicus  Emergency  Management  Service 
Disaster  Risk  Management  and 
implemented by the EC underpin the realisation of a number of these commitments. 

The  EC  has  continued  its  active  role  in  a  range  of  international  bodies  dealing  with  R&I 
policy,  notably  in  various  OECD  bodies  and  in  meetings  of  the  G7/G20.  For  example,  in 
October 2015 and May 2016, the EC attended meetings of the G7 Ministers of Science, who 
agreed to step up cooperation in research on global health, the future of the seas and oceans, 
research  infrastructures,  inclusive innovation,  gender  and  open  science,  and  to  cooperate  on 
clean energy in the context of Mission Innovation. 

Many  of  these  international  fora  are  continuing  to  expand  their  membership,  and  this  is 
crucial to their success. For example, GloPID-R now has 23 members from 16 countries, and 
the Belmont Forum now includes 21 funding agencies and four international fora. 

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6. REINFORCING THE PARTNERSHIP WITH THE MEMBER STATES  

Deepening and strengthening the partnership between the EC and the Member States (MS) is 
an important aspect of the strategy. 

Cooperation with MS takes place through several fora. It is very often the case that both the 
EC and several individual MS participate in global multilateral initiatives. Another example 
of cooperation is when the EU participates in MS' joint R&I programmes and calls, such as 
through  initiatives  under  Article  185  TFEU.  The  'Partnership  for  R&I  in  the  Mediterranean 
Area' (PRIMA), focussing on innovative solutions for food and water challenges, is a sound 
example  of  the  work  done  towards  enhancing  the  partnership  between  the  EU  and  MS 
the  strengthening  of 
through  Article  185  TFEU.  The  EC 
internationalisation activities of Joint Programming Initiatives including through Coordination 
and  Support  Actions.  Furthermore, the  EC  and MS  cooperate in  thematic  platforms  such  as 
the  Strategic  Energy  Technology  Plan,  in  order  to  ensure  a  coherent  EU  strategy  vis-à-vis 
international partners. 

is  also  encouraging 

As  an  advisory  body,  the  Strategic  Forum  for  International  S&T  Cooperation  (SFIC)  has 
continued to play an active role as an exchange platform and in networking with stakeholders. 
It  has  thus  contributed  to  the  implementation  of  S&T  cooperation  agreements  and  has 
provided sound and timely advice to the Council and the EC. Structured policy coordination 
between  the  EC  and  SFIC  has  taken  place  in  view  of  Joint  S&T  Cooperation  Committee 
meetings  and  high  level  policy  dialogues  with  international  partner  countries  and  regions. 
SFIC  has  also  provided  input  to  the  updating  of  the  multi-annual  roadmaps,  and  country-
specific Working Groups (for the USA, China, Brazil and Russia) have contributed to creating 
a  more  coherent  strategy  for  R&I  cooperation  with  these  countries.  Moreover,  a  new  SFIC 
Working Group is developing an overview of instruments and best practice for international 
cooperation for use by MS, Associated Countries and the EC. The Forum has also contributed 
to the ERA Roadmap priority on international cooperation that is founded on the development 
of joint strategic approaches and actions determined on the basis of MS' national priorities9. 

The  external  dimension  of  the  ERA  serves  as  a  paradigm  for  the  EC  to  gradually  shape  a 
vision  of  a  'Global  Research  Area'  with  priorities  varying  according  to  the  EU's  specific 
objectives  for  each  region  or  country.  For  instance,  the  EU-CELAC10  'Common  Research 
Area' was declared a common objective at the Summit held by the two regions in June 2015, 
with the aim of increasing the level and intensity of cooperation. It builds on three strategic 
pillars:  improving  the  mobility  of  researchers;  promoting  access  to  research  infrastructures; 
and jointly addressing common challenges such as climate change, sustainable urbanisation, 
health, the bioeconomy, and ICT. 

7. INTENSIFYING THE SYNERGIES WITH THE EU'S EXTERNAL POLICIES  

The  external  and  internal  aspects  of  the  challenges  facing  the  EU  today  are  increasingly 
interlinked,  and  the  urgency  and  magnitude  of  these  challenges  require  swift  political 
decisions  and  joint  international  responses.  The  strategic  importance  of  international 
cooperation in R&I is often a central issue in the EU's general policy dialogue with its main 
international  partners,  as  reflected  in  the  conclusions  reached  at  many  recent  international 
summits. 

9 ERAC-SFIC 1354/16: 'SFIC opinion on the Commission's ’Open to the World' agenda' 
10 Community of Latin American and Caribbean States 

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Science diplomacy is an important part of the strategy. It has a particular added value in areas 
of  conflict  and  crisis  where  science  cooperation  can  help  build  bridges  between  people  and 
nations.  For  instance,  the  EC  is  supporting  the  Synchrotron-light  for  Experimental  Science 
and Applications (SESAME) project where science fosters a culture of peace and cooperation 
in  the broader Middle East. The EU was granted SESAME  observer  status in  2015 and has 
made  a  major  contribution  to  the  project,  notably  by  providing  a  state-of-the-art  magnet 
system for the main storage ring and through support to training capacities. Another example 
is the high-level dialogues following up on the Joint Comprehensive Plan of Action with Iran 
that are paving the way for closer cooperation between the EU and Iran, including on R&I in 
areas such as renewable energy, climate change and bioeconomy. 

The  strategy  is  also  closely  coordinated  with  EU  neighbourhood  and  enlargement  policies. 
The  focus  of  the  EU's  R&I  cooperation  with  pre-Accession  countries  (the  Western  Balkans 
and Turkey) is to promote their integration into the ERA, including through their association 
to  Horizon  2020.  Recently  concluded  agreements  with  Ukraine,  Tunisia,  Georgia  and 
Armenia will take the total number of Horizon 2020 Associated Countries to sixteen. 

A further dimension of science diplomacy is when scientific evidence and advice are used to 
anticipate  needs,  prevent  conflicts  and  disasters,  and  for  policy-making  related  to  global 
challenges. EU-supported projects are making a significant contribution. For instance, the EU 
is  one  of  the  largest  contributors  to  Arctic  research  and  plays  a  critical  role  across  all  the 
priority areas of the integrated EU Arctic policy11. The EC has also set up a mechanism for 
providing  high  quality,  timely,  independent  scientific  advice  that  is  contributing  to  the 
continued pursuit of the best possible evidence-based policy. 

The new Migration Partnership Framework for reinforced cooperation with non-EU countries 
highlights  the  need  for  the  EU  to  increase  its  efforts  to  address  the  root  causes  of  irregular 
migration.  Research  helps  address  the  challenges  and  supports  policymakers  and  societies 
adjust to new trends in migration. It allows gaining a better understanding of the root causes, 
to assess the effectiveness of actions and to help design strategies that will make integration 
more successful. The PRIMA initiative would contribute to tackle many of the root causes of 
migration from the Southern Mediterranean countries.  

The EU is committed to fully implementing the 2030 Agenda for Sustainable Development. 
This includes support through Horizon 2020 that is expected to contribute at least 60 % of its 
budget to sustainable development and 35 % to climate action.Projects from the 2014-15 WP 
call  on  water  innovation,  for  example,  are  strengthening  international  cooperation  with 
emerging  economies,  especially  China  and  India,  where  they  are  also  creating  links  with 
initiatives such as the China-Europe Water Platform and the Clean Ganga initiative, and are 
contributing to the India-EU Water Partnership, launched in 2016. 

The  EC  has  also  supported  sustainable  and  equitable  development  by  providing  significant 
resources for addressing the scientific divide  and strengthening the S&T capacities of lower 
middle-income economies.  This  has encouraged regional and international  R&I  networks to 
create synergies between main  actors in the innovation value chain in these countries and to 
increase  their  institutional  R&I  capacities.  Notably,  the  European  Development  Fund  has 
contributed to three successive intra-ACP12 research capacity programmes worth €70 million 
in total. With an indicative allocation of €60 million the EU has renewed its commitment until 

11 JOIN(2016)21 
12 African, Caribbean and Pacific Group of States 

8 

 
 
                                                            
2020 to upgrade the ACP's research capability and improving skills development systems to 
support innovation. In parallel, €17.5 million in African Research Grants are promoting R&I 
along the food value chain. 

In the same way as innovation processes are increasingly organised in global networks, trade 
and  investment  policies  are  now  more  closely  intertwined  with  innovation  and  industrial 
policies. The EC has continued to take steps to ensure that free trade agreements open up new 
areas to competition and innovation. 

8. REFINING THE COMMUNICATION STRATEGY  

Ensuring  global  awareness  of  the  EU’s  strengths  in  S&T,  its  role  in  international  R&I 
cooperation  and  the  international  openness  of  its  initiatives  is  crucial  for  the  success  of  the 
strategy. 

The  EC  has  continued  its  'Horizon  2020  –  Open  to  the  World'  communication  campaign  to 
ensure that the programme is known worldwide. It has also improved visibility and guidance 
on  the  Participant  Portal  and  the  international  cooperation  website,  notably  by  providing 
information for each country about the local support available to Horizon 2020 participants, 
including the co-funding mechanisms in place, the current priorities for cooperation and the 
contact points. 

The EU delegations have contributed to promoting the EU strategy with relevant government 
departments and among the R&I actors in the partner country or region, and by presenting the 
EU's R&I  policies and programmes at events and in  the media. The Horizon 2020 National 
Contact Points and other multipliers in the EU, Associated Countries and international partner 
countries have continued to provide guidance and advice to researchers and to assist them in 
partner search.  

Furthermore,  a  series  of  bilateral  policy  support  projects  with  partner  countries  and  regions 
have carried on with awareness raising and training activities, partnering events and meetings 
in support of policy dialogues, and analysis and monitoring of cooperation. The EC is setting 
up a facility that will build on the networks created by these projects and provide services to 
support further policy development, priority-setting and implementation of the strategy.   

9. CONCLUSIONS 

The objectives of the strategy and the need for coherent action are even more relevant today 
than when the strategy was issued four years ago. While the globalisation of R&I is not a new 
phenomenon,  it  has  become  increasingly  visible,  particularly  in  terms  of  collaborative 
research,  international  technology  production,  and  the  international  mobility  of  researchers 
and circulation of knowledge. Openness to the world remains a strategic priority for the EU, 
as  it  is  essential  for  excelling  in  science  and  technology,  getting  research  results  to  market 
faster and creating new business opportunities for R&D-intensive industries. It is also crucial 
for  contributing  to  solving  global  societal  challenges  and  for  allowing  the  EU  to  have  a 
leading voice in global debates and developments. 

The  quantitative  indicators  that  underpin  the  monitoring  of  the  impact  of  the  strategy  show 
there  to  be  significant  room  for  improvement,  both  with  regard  to  using  Horizon  2020  as  a 
vehicle for international cooperation (with more relevant WP topics; increasing participation 

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in  grant  agreements;  higher  investment  from  international  partners;  and  more  mobility  of 
researchers) and beyond (notably through multilateral programmatic initiatives)13.  

S&T  policy  dialogues  and  cooperation  roadmaps  shall  continue  to  serve  as  a  basis  for 
priority-setting in Horizon 2020 programming, and the international dimension of WPs shall 
match  the  political  ambition  to  reach  the  FP7  level  of  international  cooperation  activities. 
Additional  action  shall  provide  for  WP  topics  of  sufficient  scale  and  scope  that  are 
specifically  devoted  to  international  cooperation  and  for  strengthening  the  international 
dimension  of 
research 
infrastructures of global interest. 

innovation  actions,  of  public-private  partnerships,  and  of 

The  EC  shall  remain  proactive  in  ensuring  good  framework  conditions  for  international 
cooperation  within  a  vision  of  a  'Global  Research  Area',  which  will  include  co-funding 
mechanisms for an increased number of countries and more topics, reciprocity of access, and 
R&I-friendly visa schemes. 

Further action shall also be taken to widen international participation and strengthen the EU's 
role in global multilateral fora and international organisations to push for more investment in 
developing innovative solutions to the global challenges that are at the top of the EU's priority 
list. 

Stronger synergies with the actions of Member States shall also be sought including by means 
of  structured  policy  coordination,  opening  joint  programmes  to  international  participation, 
analysis and mutual learning. SFIC will continue to play an important role in reinforcing the 
partnership between the EC and the Member States. 

Science  diplomacy  shall  be  used  more  extensively  as  an  influential  instrument  of  the  EU's 
external policies to build bridges in times of conflict, help prevent crises and disasters, better 
understand complex issues and develop shared strategies for good stewardship of our planet. 
It shall also be used for developing common standards for better market access and improving 
trade. EU diplomacy must leverage the elevated language of science for its remarkable uniting 
power. 

In  conclusion,  over  the  past  two  years  clear  progress  has  been  made  towards  achieving  the 
objectives of the strategy, but more needs to be done to tap the full potential of the 'Open to 
the World' policy priority. 

13 In Horizon 2020, for collaborative actions: share of WP topics mentioning at least one TC or region; share of 
TC participations and budgets; share of grant agreements with at least one TC participant; budget invested by TC 
organisations; budget contributing to international multilateral initiatives and their leverage effect; and for ERC 
and MSCA: share of researchers from TC in grants. 

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